Office of Research Administration (ORA) Faculty Orientation September 17th, 2013 Who Are We?? THE OFFICE OF RESEARCH ADMINISTRATION

The mission of the Office of Research Administration (ORA),
under the Senior Vice President for Finance and Administration, is
to provide administrative support to research faculty in the form of
proposal preparation, contract and grant administration, billing
sponsors and managing accounts receivable, and closeout of
expired research projects. ORA also provides training to faculty
and staff, initiates and implements policies and procedures, serves
as a liaison with sponsors and regulatory agencies and ensures
compliance with all Federal and State regulations.

COST SHARING WHAT IS IT?? CASH - This can be provided by:
1.
the PI (from a discretionary
! It is the addition of CASH
account, start-up funds, etc.)
or IN-KIND contributions
2.
the department (overhead
return),
to the project by either the
3.
by a center (overhead return), or
submitting institution or by
4.
by third parties.
a third party.

IN-KIND – Examples are… academic year effort plus fringe and overhead, or services for which we normally charge fees. It can also come from third parties in the way of services or data. Why Do We Do It?
We provide cost sharing to a proposal if the sponsor requires it. They usually
request that we “share” in the cost of the project or provide cost value. CSM prohibits voluntary cost sharing in most cases. CSM may allow cost sharing IF:

! Budget limitations imposed by sponsor do now allow for PI or Co-PI
effort. ORA then allows in-kind contributions of effort.
! Budget constraints do not provide for full coverage of a student; therefore
the PI can provide cash to cover the costs.
! The sponsor limits the amount they will provide for tuition and fees (as in
educational programs); graduate school is usually contacted for assistance. WHAT SHOULD I DO IF I HAVE COST SHARING?

Contact your Department Head for

help in determining what is

available and appropriate.

Once you know what you want to

provide, contact ORA to

obtain help in budgeting the cost
sharing.

Then What Happens??

You and your Department Head will sign the Cost
Share form provided by ORA. ORA will document all
of your cost sharing in the proposal check-off sheet.

Cost
Share
Form INDIRECT COST EXCEPTION WHAT IS IT? WHAT DO I DO?
This occurs when a sponsor
You need to email your
mandates a lower indirect cost
Department Head and get
rate than our on-campus rate,
approval for the exception.
currently at 50%.

Can I ever request lower indirect costs just to help me with my budget?

No, not usually. Sometimes exceptions are made in special
circumstances but are rare. In other words, don’t count on it!

SUBCONTRACTSIf you have any subcontracts in your budget, ORA will need a proposal from them prior to proposal submission:

CSM sub-recipient form signed by official

Detailed budget

Budget justification

Statement of work

The sponsor may require additional forms, certifications, etc., specific to the sponsor.
Remember, we overhead only the

Rules to Live By…..
! Research means a systematic investigation, including research
development, testing and evaluation, designed to develop or contribute to
generalizable knowledge.

! (This includes classroom activities if you intend to publish the results)
! Human subject means a living individual about whom an investigator
(whether professional or student) conducting research obtains

! (1) Data through intervention or interaction with the individual, or
(2) Identifiable private information.
! If you are going to perform any human subject research, you must have
IRB Approval before work begins. To initiate this process, send a
completed application to humansubjects@mines.edu HOORAY for BUDGETS WHAT DO I NEED TO PROVIDE TO ORA?
! A completed proposal information form
! A budget in the standard CSM format
! A detailed budget justification
! A copy of the solicitation, if applicable, or web link
! A technical proposal or statement of work
! Subcontract documents
! Other documents as required by the sponsor

Solicitation Proposal Information Form Budget

Budget Justification Statement of Work

A statement of work
(SOW) is a formal
document that captures
and defines the work
activities, deliverables,
and timeline a vendor
must execute in
performance of specified
work for a client. Your proposal analyst will:
! Check or create the budget
! Read the solicitation/instructions
! Create internal documents for
signatures
! Fill out sponsor forms/submission
packages
! Check subcontract documents, if any
! Obtain administrative signatures
! Assist with electronic submission or
submit proposal by other means Questions??? RESEARCH DATA MANAGEMENT
What is it? What do I need to do?
2013E09E17%
%
Katy%Ginger%
Research%Data%Services%
Oﬃce%of%Research%and%Technology%Transfer%
ginger@mines.edu% % ext.%3681% % %Nature of Research: Data and Complexity
Surface Energy Flux
Hydrology
Carbon/Nitrogen
Cycling
‣ Research problems are
increasingly
interdisciplinary &
complex
‣ Col aboration requires
open sharing of data
Urbanization
‣ Data are highly
Land Use &
Change
heterogeneous and
largely incompatible in
Vegetation
Dynamics
their native formats
‣ Data is digital
Bonan (2009)
Permafrost Nature of Publishing: A Rethink
‣ Your publication is
advertising for the
science contained
therein
‣ Contains only a
portion of the
results, data, figures,
code or software
from your
Copyright:%American%Meteorological%Society%
investigations U.S. Government Directive & Public Access

New$Requirements$Placed$on$Research$Data$
“…. unclassified research supported whol y or in part
by U.S. Government funding should be stored and
publicly accessible to search, retrieve and analyze.”

Research Data Defined
‣ Factual info to support & validate research findings
‣ Analog or digital
‣ Observational, numerical or in-situ
‣ Imagery, audio or output from equipment
‣ Created from experiments or gathered as part of
projects, surveys or other means
‣ Includes physical col ections & software
‣ Col ected by you or others Research Data Management
Active and ongoing
col ection, organization, care-taking & preservation
of research data through its lifecycle of interest and
usefulness to scholarship, science and education.

If you receive award documents from a sponsor,
please send them to: awards@mines.edu FEDERAL GRANTS
! Grant – Project is implemented independently of the
Sponsor, and there is no anticipated involvement between
the Sponsor and Recipient during performance of an activity.

! Cooperative Agreement – Substantial involvement is
anticipated between Sponsor and Recipient during the
planning and performance of the activity.

Remember! It is the content of the agreement that will
determine if it is a contract, not the title!

CONTRACT BASICS: FUNDING MECHANISMS
! Fixed-Price: A firm-fixed-price contract provides for a
price that is not subject to any adjustment on the basis of
the contractor’s cost experience in performing the contract.
This contract type places upon the contractor maximum risk
and full responsibility for all costs and resulting profit or
loss. It provides maximum incentive for the contractor to
control costs and perform effectively and imposes a
minimum administrative burden upon the contracting
parties.
(FAR Part 16.2) CONTRACT BASICS: FUNDING MECHANISMS
! Cost Reimbursement: Cost-reimbursement types of
contracts provide for payment of allowable incurred costs, to
the extent prescribed in the contract. These contracts
establish an estimate of total cost for the purpose of
obligating funds and establishing a ceiling that the contractor
may not exceed (except at its own risk) without the approval of
the contracting officer.
(FAR Part 16.3)

CONTRACTS: ACCEPTANCE
! Contracts must be negotiated in accordance with
federal and State law, School policy, and specific
project needs.

! Contracts previously negotiated with an
organization may be a good starting point, but may
not be appropriate for new work, and should be
carefully reviewed.

!
Al owable costs are determined by the Grant or Contract Terms
!
What are al owable costs?
◦ OMB circular A-21, “Cost Principles for Educations Institutions” defines al owable as:
!
REASONABLE-A prudent business person would have purchased this & paid this price. It must be
necessary for the performance of the research
!
ALLOCABLE – It can be assigned to the activity on some reasonable basis & the assigned costs benefits
the project.
!
CONSISTENTLY TREATED – Like costs must be treated the same in like circumstances. A cost is either a
direct cost to the project or is al owable as a F&A cost which is paid for by the indirect cost paid by the
sponsor

! Document, Document, Document!
◦ Bottom line: Complete files protect you in an audit.
◦ Should have receipts with enough detail to support
the charge.
◦ Written explanation of how the expense benefited
the project Travel Forms must be turned
in prior to traveling on any
research project. Forms are
Verify if you have domestic or foreign travel budgeted
located on Travel website
Within Start date of prjt
Within End date of prjt
under Control er’s Office.
! TA
Please indicate reason for travel and how it pertains to
(Travel Approval)
the project for which you are working .
!
Must have prior approval
before travel can be taken.
!
Any travel charged to a
470053
research project without prior
approval could be at PI’s risk.
!
Important to submit first
! TE (Travel Expense)
!
TA must be attached along
with back up paperwork
provided by Travel.
!
Index/Fund No. cannot be
changed from original TA
without resubmittal of a new
TA.

Employee contracts are located
on the CSM Website under
Human Resources and
Graduate Office.
Contracts are fil ed out by
PI and their dept. which
then are submitted to HR
for ORA approval.
Types of Contracts:
•
Academic Faculty
•
Research Faculty
•
Graduate Student
•
Hourly Student
Important – Please check funding
470053
Must be within the projected
Check
availability and dates before submitting
time frame of the project
Avail.
a contract to prevent delay with pay.
Fund’g 470053 Things to Consider:

• Do you have
equipment budgeted?
• Do you have enough
funding in your
budget?

! For approved service centers, poster
printing, air/gas charges and SPACE
services. Sel ing department wil provide
Fund and invoices for sale/service.
! Invoices must be included with the ISSV
in order for the expense to be
approved( except for posters)
! Not to be used in place of the cost
transfer form, these are for sales and
services on campus only. Most commonly
requested for non-
budgeted Items such as:
470053- 22000-
1200

• Computer(s)
• Laptop(s)

Forms are provided on ORA
website or by Grant Admin.
Approval required by Fund
Manager and ORA Director
before purchase can be made. ! Cost Transfer/Journal Entry (after the fact
real ocation of costs)
! CSM Cost Transfer Policy (90 days from the date
of original charge)

Forget
a) must be trailhead/eprint
BACKUP
copies of credit card
Documents!!!
receipts or emailed
receipts wil not be
accepted. Index/Fund No. is
assigned once the award
has been finalized
through the contracts
and proposal stage
beginning with the
number 4 fol owed by
the agency:
0 = Federal
3 = State
5 = Private Domestic
7 = Private International
Also Includes:
•
IDC Rate
•
Sponsor Contact
•
Tech. Contact
•
Billing Terms/Address
•
Deliverables
•
Equipment Budgeted
•
Other Provisions
•
Type of Award (Fixed
or Cost Reimbursement) ! Self Service Banner (SSB)
! Eprints
! Internet Native Banner (INB)
! Examples of each of these are in your folder. ! Trailhead
! Self Service
! Finance
! Budget
! Queries
Mastering the use of
Self Service Banner takes
Practice. Schedule an
Appointment with your
Grant Admin or sign
Up for classes! " Trailhead/Self Service/
Finance/
eprints
" Labor distribution reports
" Fund balance checkbook
detail
" Inception to date
Like the previous option
this option takes time to
master.
Cal your Grant
Administrator and set up
a tutorial session or sign
up for classes when they
are available. " This is the
financial system
used by
administration
" If you are
interested in
utilizing this
system please fil
out the Banner
Finance System
application found
on the control ers
office website. ! Barbara Schneider – Grant Bil ing Administrator
! Invoicing
! Col ections

! Eleanor Maes – Consortium Administrator
! Consortium Management
! Payment Drawdowns
! Time and Effort Reporting Manager
! Cost Share Monitor ! Invoice sponsor according to the bil ing
instructions in Contract or Grant
! May require interaction with PI as some invoicing is
dependent upon deliverables.
! Records Payments from Sponsors
! Payment may be dependent on deliverables
! Reconciles payment differences between
Sponsors and CSM
! Col ects delinquent balances from Sponsors ! Federal y-mandated Time & Effort Certs are the Government’s
means of verifying this sponsor-financed promised work,
! These Certification wil be sent to you for review & signature after
each semester & must be returned to ORA within 30 days.
! The Government has a mandated a timeframe for returning the
signed Certifications, so please take this seriously .
! Signed by a person with first-hand knowledge(Employee, PI, Dept
Head or Co-PI.
! If errors of +/- 5% don’t sign and contact ORA. ! Cost share is the portion of total project costs borne by sources other
than the sponsor and has become an increasingly common aspect of
project funding
! Cost share may be in the form of cash, in-kind, third party, or al three.
Details of cost share wil be clarified through the proposal process.
! It is the responsibility of the faculty to keep track of the promised cost
share.
! CSM has an internal form which wil be sent to you by ORA in accordance
with the policy of the sponsor. This serves as an aid to tracking your
cost share.
! Some sponsors require monthly reporting of cost share, others require
reconciliation at the end of the project. ORA wil assist with this. ! Closeout emails are electronical y generated and
emailed based upon the end date of the award.
! 90, 60, 30 day pre closeout reminders
• 0, 30, 60, 90, 120 day, etc. after end of project
! Closeout memos accompany the electronic
emails. Must be returned to ORA to ful y close
the award.

(examples in folder) This notice is being sent to inform you that cost reimbursement contract CSM Grant #400xxx with
Sandia National Laboratories has an expiration date of 09/30/2013.
As of this expiration date, al technical work should be complete. Al costs related to the work
should be incurred and recorded in the accounting system. These requirements are stipulated by
sponsor terms and conditions.
In order to initiate the project closeout, please mark and complete the applicable items on the
Closeout Memorandum at the link at the end of this email.
Once complete please return the memorandum to your Grant Administrator in the Office of
Research Administration within two weeks of the above date.
The financial status of this project is located on the attached report. If the expenditure amounts
are incorrect, please contact your Grant Administrator.
Thank you,
Office of Research Administration
CLOSEOUT MEMORANDUM:
http://inside.mines.edu/UserFiles/File/finance/researchAdmin/Closeout_Memo.pdf